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Forest  Stand  Density 
and  Stocking:  Concepts, 
Terms,  and  The  Use 
of  Stocking  Guides 


Introduction 


In  this  report  we  discuss  the  standardization  of  the  eoneepts  ami 
terms  of  stocking  and  stand  density.  We  also  consider  the  use  of 
stocking  guides,  especially  the  Gingrich  guide.1  Both  the  terminol- 
ogy and  this  guide  have  been  adopted  by  the  USDA  Forest  Service 
National  Forest  System  and  the  Timber  Management  Research 
Stall,  although  research  continues  on  new  and  better  expressions 
of  stand  density. 

The  attempt  to  standardize  stocking  has  long  been  a  source  of 
confusion  and  controversy  among  foresters,  despite  efforts  to  clar- 
ify the  situation  (Bickford  and  others  1957).  Curtis  (1970) 
identified  basic  relationships  among  a  number  of  stand  density 
measures,  and  his  analysis  unified  the  interpretation  of  many  of 
these  measures.  MacLcan  (1979)  made  further  distinctions  and 
clarifications  in  terminology  as  applied  to  the  Pacific  Northwest 
Forest  Survey.  All  these  were  admirable  attempts  to  bring  some 
meaningful  criteria  into  the  field. 

'This  name  is  incorrectly  spelled  "Ginrich"  in  the  citation  on  page  7.  In 
ull  other  instances  in  this  publication  the  correct  spelling  is  used. 


For  we  must  remember  that  the  development  of  standards  in  the 
matters  of  stocking  and  stand  density  arc  not  of  casual  interest. 
They  arc  vital  to  the  performance  of  the  work  that  we  have 
undertaken.  Such  standards  arc  implicitly  demanded  in  the  man- 
date that  we  have  from  Congress,  in  the  National  Forest  Manage- 
ment Act  of  1976,  section  4(d)(  I ).  ".  .  .  It  is  the  policy  of  Congress 
that  all  forested  lands  in  the  National  Forest  System  shall  be  main- 
tained in  appropriate  forest  cover  with  species  of  trees,  degree  of 
stocking,  rate  of  growth,  and  conditions  of  stand  designed  to  se- 
cure the  maximum  benefits  of  multiple  use  sustained  yield  man- 
agement in  accordance  with  land  management  plans."  (USDA  FS 
1983)  The  carrying  out  of  this  law  requires  the  development,  on  a 
national  level,  of  a  standardized  concept  of  stocking  and  a  consist- 
ent interpretation,  visualization,  and  application  of  stocking 
standards. 


1 


Definitions 


To  foster  a  common  understanding  and  interpretation  of  stock- 
ing, it  is  first  necessary  to  define  the  terminology  and  concepts 
used.  The  following  definitions  of  stand  density  and  stocking  are 
recognized  by  the  Society  of  American  Foresters  (1971): 

Stand  density — A  quantitative  measure  of  tree  stocking  ex- 
pressed either  relatively  as  a  coefficient,  taking  normal  num- 
bers, basal  area,  or  volume  (from  yield  table  data)  as  unity; 
or  absolutely,  in  terms  of  number  of  trees,  total  basal  area, 
or  total  volume  per  unit  area. 

Stocking — A  loose  term  for  the  amount  of  anything  on  a 
given  area,  particularly  in  relation  to  what  is  considered  the 
optimum. 

Many  foresters  use  these  two  terms  interchangeably,  but  there 
are  distinct  differences.  We  will  maintain  consistency  with  these 
recognized  definitions  and  will  further  clarify  and  interpret  them. 
Also,  in  this  publication,  we  are  going  to  define  other  significant 
concepts  and  terms.  Six  of  the  most  important  are  as  follows: 

•  Absolute  stand  density — the  absolute  or  measured  quantity 
per  unit  area  (that  is,  trees  per  acre  or  square  feet  per  acre). 

•  Management  zone — the  area  defined  by  the  upper  and 
lower  bounds  of  acceptable  relative  densities  in  stands  man- 
aged for  a  particular  objective. 

•  Reference  level — the  absolute  stand  density  that  we  would 
normally  expect  in  a  stand  of  given  characteristics  under 
some  standard  condition  (usually  average  maximum  compe- 
tition, but  may  be  no  competition). 

•  Relative  stand  density  derived  from  average  maximum 
competition — the  ratio  (proportion  or  percent)  of  absolute 
stand  density  to  the  reference  level  based  on  average  maxi- 
mum competition. 

•  Relative  stand  density  derived  from  no  competition — the 

ratio  (proportion  or  percent)  of  absolute  stand  density  to  the 
reference  level  based  on  no  competition. 

•  Stocking  level — a  residual  stand  density,  expressed  as  rela- 
tive stand  density,  that  achieves  some  management 
objective. 

Stand  density:  some  aspects 

In  the  following  discussion,  we  will  assess  density  only  in  in- 
dividual forest  stands  that  have  grown  beyond  the  seedling- 
sapling  stage.  The  term  "stocking"  can  be  used  in  a  number  of 
contexts.  For  example,  stocking  adequacy  can  be  evaluated  at 
several  points  in  the  life  of  a  stand.  The  methods  used  during  the 
early  years  are  meant  to  evaluate  the  adequacy  of  the  regenera- 
tion stocking.  These  methods  differ  from  those  used  in  later  years 
when  overstory  stand  density  is  evaluated.  In  this  report  we  are 
concerned  primarily  with  evaluating  overstory  density  and  devel- 
oping standards  for  overstory  stocking.  (Those  methods,  how- 
ever, that  deal  with  regeneration  stocking  should  always  take 
care  that  the  stand,  as  it  matures,  will  ultimately  fall  within  the 


desired  management  zone.) 

It  has  long  been  recognized  that  intensive  management  of  the 
forest  resource  can  increase  the  yield  of  usable  products  over  the 
rotation  of  the  stand.  Controlling  stand  density  is  a  primary 
mechanism  for  controlling  stand  growth.  In  reviewing  European 
thinning  practices,  Braathe  (1957)  stated: 

...  In  European  thinnings,  the  best  possible  future  develop- 
ment of  the  stand  is  the  main  principle. .  .  .  This  is  best 
achieved  by  the  free  thinning  method,  which  leaves  a  suita- 
ble number  of  the  best  trees  as  evenly  spaced  as  possible 
over  the  area. .  .  .  The  height  growth  is  little  affected  by 
thinning  on  good  sites  within  the  density  interval  used  in 
practice. ...  On  the  other  hand,  diameter  growth  is  greatly 
stimulated  by  thinnings,  especially  in  the  lower  part  of  the 
trunk,  producing  larger  dimensions  in  shorter  time. 

It  is  generally  accepted  that  gross  stand  volume  growth  is 
fairly  constant  over  a  considerable  range  of  stand  densities,  but 
net  stand  growth  (gross  growth  less  mortality)  may  decrease  as 
stand  density  increases.  Despite  nearly  constant  gross  stand 
volume  increment,  we  thin  to  salvage  the  anticipated  volume  lost 
to  mortality,  and  to  put  the  volume  increment  onto  fewer  (and 
hopefully  bigger  and  more  desirable)  trees  in  larger  increments. 
Through  intermediate  thinnings  we  can  control  density  and  in- 
crease the  total  return  from  the  stand  over  the  rotation.  When 
thinning,  the  question  is  how  much  material  should  be  removed 
and  how  much  should  remain.  Establishing  stocking  standards  is 
an  attempt  to  answer  that  question  and  to  help  the  manager  make 
sound  decisions  about  treating  the  stand. 

In  a  simplistic  conception  of  the  impact  of  stand  density  on 
growth,  there  are  finite  amounts  of  resources  available  in  any 
given  area  for  tree  growth.  If  we  start  with  a  single  tree  on  a  plot, 
that  tree  would  have  all  of  the  resources  it  could  use,  and  excess 
resources  would  be  available  for  other  vegetation.  We  could  add 
additional  trees  to  the  plot  (increasing  the  stand  density),  and 
each  would  have  all  the  resources  it  could  use.  But  as  the  number 
of  trees  on  the  plot  increases,  inter-tree  competition  begins,  and 
eventually  a  point  is  reached  where  all  resources  for  growth  are 
used.  This  is  the  point  of  full  site  utilization.  As  the  number  of 
trees  on  the  plot  further  increases,  the  competition  among  the 
trees  for  light,  moisture,  and  nutrients  also  increases. 

Growth  of  individual  trees  in  open  stands  will  be  at  a  maxi- 
mum (within  the  limits  imposed  by  other  factors):  however,  total 
stand  growth  will  be  less  than  maximum.  Stand  growth  increases 
with  increasing  numbers  of  trees,  but  at  a  decreasing  rate  since 
the  growth  of  individual  trees  is  reduced  by  increasing  competi- 
tion among  trees.  Above  the  point  of  full  site  utilization,  growth 
of  individual  trees  decreases  as  stand  density  increases,  while  to- 
tal gross  stand  growth  remains  nearly  constant.  Mortality  also  in- 
creases as  stand  density  increases  because  some  individual  trees 
would  no  longer  have  the  minimum  amount  of  resources  required 
to  survive. 

When  thinning,  we  manipulate  stand  density  to  capitalize  on 
these  growth  responses.  The  primary  objectives  of  thinning  are  to 
(1)  salvage  the  material  that  otherwise  would  have  died,  thereby 
increasing  total  yields  over  the  rotation:  (2)  increase  the  growth 
rate  on  individual  trees  selected  to  be  retained:  (3)  improve  qual- 
ity and  species  composition:  and  (4)  maintain  stand  health. 


2 


Stocking  levels  are  the  recommended  residual  relative  stand  den 
sities  that  capitalize  on  these  responses  to  best  meet  a  specific 
management  objective.  (Management  objectives  will  be  dis- 
cussed in  more  detail  in  a  later  section  of  this  publication.) 
Absolute  stand  density  lor  Stands  of  the  same  age,  species 

composition,  structure,  and  site  is  meaningful  lor  purposes  ol 

comparison.  When  any  or  all  of  these  stand  characteristics 
change,  comparison  of  absolute  stand  density  becomes  less 
meaningful.  For  example,  it  is  a  natural  tendency  lor  the  basal 
area  per  unit  area  to  increase  and  the  number  of  trees  per  unit 
area  to  decrease  as  the  stand  grows  older.  Since  these  absolute 
measures  change  over  time,  meaningful  comparisons  among 
stands  must  include  some  measure  of  average  tree  size  or  stage  of 


stand  development 

The  concept  of  relative  stand  density  has  been  developed  to 
provide  meaningful  comparisons  among  stands  that  differ  in  av- 
erage tree  size,  age,  site,  and  associated  characteristics.  Relative 
stand  density  is  the  ratio  of  the  measured  absolute  density  of  a 
given  stand  to  some  reference  level  specific  to  that  forest  type.  It 
describes  the  "degree  of  crowding"  in  the  stand  When  the  evalu- 
ation of  two  stands  results  in  the  same  relative  stand  density,  they 
can  be  thought  of  as  being  at  the  same  degree  of  crowding,  even 
though  they  may  differ  in  age,  stand  size,  or  species  composi- 
tion. This  ability  to  measure  and  compare  the  degree  of  crowding 
is  extremely  valuable 


3 


Stand  density:  reference  levels 


Two  reference  levels  to  measure  stand  density  have  been 
widely  used.  These  levels  must  be  determined  biologically;  and, 
as  Curtis  (1971)  describes  them,  they  may  be  either  a  level  of  av- 
erage maximum  competition  or  a  level  of  no  competition.  The 
former  is  the  more  common  and  probably  the  more  useful  refer- 
ence level.  Note  that  some  writers  have  used  the  biological  maxi- 
mum; this  defines  the  extreme  upper  limit  of  density  and  is  dis- 
tinct from  the  average  of  many  high-density  stands.  Average 
maximum  competition  is  based  on  the  absolute  density  observed 
in  undisturbed  stands  of  the  same  type  and  size,  often  referred  to 
as  "normal"  stands  in  older  American  yield  tables.  The  A-level  in 
Gingrich's  (1967)  oak  stocking  guide  and  the  maximum  density 
lines  of  Reineke  (1933)  and  Drew  and  Flewelling  (1979)  are  ex- 
amples of  reference  levels  based  on  average  maximum  competi- 
tion or  an  estimated  upper  limit  of  competition  proportional  to 
this  average  maximum.  Measures  such  as  Chisman  and 
Schumacher's  (1940)  tree-area  ratio,  Reineke's  (1933)  stand  den- 
sity index,  Curtis'  (1982)  RD.  and  Drew  and  Flewelling's  (1977, 
1979)  relative  density  measure  express  stand  density  relative  to 
such  maximum  density  levels  for  stands  of  the  same  diameter 
(the  most  common  measure)  or  some  other  measure  of  stand 
development. 

The  "no  competition"  reference  level,  100  crown  competition 
factor  (100  CCF),  is  based  on  the  observed  relationship  between 
crown  area  and  diameter  at  breast  height  (d.b.h.)  of  open-grown 
trees.  Crown  width  and  d.b.h.  are  measured  on  trees  that  have 
developed  without  competition.  The  reference  level  is  then  de- 
fined by  the  number  per  unit  area  (acre  or  hectare)  of  such  trees 


of  a  given  diameter  for  which  the  sum  of  predicted  crown  areas  is 
one  unit  area  (acre  or  hectare).  This  is  the  point  of  crown  closure 
of  a  hypothetical  stand  of  uniformly  distributed  trees  of  the  same 
diameter,  with  crown  areas  equal  to  those  of  open-grown  trees  of 
this  diameter.  The  B-level  line  of  the  oak  stocking  guide,  as  de- 
veloped from  the  crown  competition  factor  (Krajicek  et  al. 
1961),  is  an  example  of  a  reference  level  based  on  such  a  hypo- 
thetical stand.  The  "no  competition"  reference  level  is  particu- 
larly useful  in  forest  types  where  factors  other  than  light  are  lim- 
iting, and  the  closed  forest  condition  often  used  to  identify  stands 
where  average  maximum  competition  cannot  often  be  found. 

The  choice  of  a  reference  level  is  critical,  regardless  of  the 
standard  of  competition  used  as  reference,  because  stocking  lev- 
els are  expressed  in  terms  of  that  standard.  A  reference  level 
would  be  unity  or  100  percent,  since  it  is  what  we  expect  in  natu- 
ral undisturbed  stands.  The  crowding  (or  density)  of  any  stand 
can  be  expressed  in  relation  to  the  reference  level  as  relative 
stand  density,  as  a  proportion  or  percent. 

Because,  in  the  past,  there  have  been  two  reference  levels 
from  which  relative  density  could  be  calculated,  the  definition  of 
relative  density  may  often  be  ambiguous.  The  reference  level 
used  should  be  specified.  Since  the  most  common  and  useful  ref- 
erence level  is  average  maximum  competition,  we  use  the  un- 
qualified term  "relative  density"  to  denote  stand  density  relative 
to  average  maximum  competition.  If  the  reference  level  used  is 
"no  competition,"  this  should  be  stated  explicitly.  Only  one  ref- 
erence level  should  be  defined  for  a  forest  type. 


4 


Stocking  levels  and  management  objectives 


Use  of  stocking  guides 


Stocking  level  implies  a  managemenl  objective.  This  is  distinct 
from  stand  density.  A  stocking  level  is  the  residual  relative  stand 
density  that  satisfies  a  management  objective,  and  stocking  is  ex- 
pressed as  relative  stand  density.  For  example,  optimum  stand 
volume  production  may  occur  at  .1  Stocking  level  that  is  60  pel 
cent  of  the  average  maximum  competition  reference  level,  or  at  a 
relative  stand  density  of  60  percent. 

Stocking  levels  that  satisfy  individual  management  objectives 
can  be  distinctly  different:  however,  they  are  all  expressed  as  rel- 
ative stand  density.  When  stand  density  is  manipulated,  the  ob- 
served biological  responses  are  the  basis  lor  defining  a  number  of 
residual  density  levels.  These  levels  include,  but  are  not  limited 
to.  the  levels  that  achieve: 

•  Maximum  d.b.h.  growth  of  individual  trees. 

•  Maximum  volume  (or  basal  area)  growth  of  stands. 

•  Maximum  development  of  regeneration. 

•  Maximum  development  of  understory  wildlife  food. 

•  Maximum  seed  production. 

•  Minimum  or  acceptable  levels  of  windthrow. 

•  Minimum  or  acceptable  levels  of  damage  by  insects  and 
diseases. 

•  Minimum  or  acceptable  bole  degrade. 

Two  considerations  are  important  in  making  an  appropriate 
management  decision:  the  biological  response  of  the  stand  to  a 
treatment  and  the  economic  factors.  Biologically,  undisturbed 
stands  show  a  consistent  pattern  of  development  and  tend  to  re- 
spond to  a  given  treatment  in  a  consistent  way.  Economically, 
the  viability  of  a  treatment  depends  on  accessibility,  markets, 
utilization  standards,  and  other  exogenous  variables.  The  eco- 
nomic conditions,  particularly  markets,  are  by  nature  dy- 
namic— what  is  true  today  might  not  be  tomorrow.  Appropriate 
management  strategies  are  determined  from  the  biological  devel- 
opment and  responses  as  constrained  by  the  economic  realities. 

Any  number  of  stocking  levels  can  be  established,  each  satis- 
fying one  or  more  management  goals.  The  establishment  of 
stocking  levels  should  have  long-term  research  support,  and  as 
research  results  accumulate,  these  stocking  levels  can  be  dis- 
played more  accurately  on  the  guides  that  are  drawn  up. 

Although  an  optimal  residual  density  may  be  defined,  strict 
maintenance  of  that  level  would  require  continuous  cutting. 
There  is  a  practical  limit  to  the  frequency  of  cutting  in  a  stand, 
and  it  is  based  on  economic  returns.  Generally,  there  would  be  a 
lower  density  limit  below  which  stand  production  suffers,  and  an 
upper  limit  above  which  stand  vigor  deteriorates.  As  a  result,  a 
range  of  residual  relative  densities  is  implied  as  being  acceptable. 
This  range  can  be  thought  of  as  the  management  zone. 


Stocking  guides  have  been  developed  for  most  of  the  major 
forest  types  and  species  in  North  America.  Many  of  these  guides 
express  stand  density  as  easily  derived  field  estimates  ol  the  hori- 
zontal dimensions  of  a  stand  (that  is.  number  of  trees  and/or  ba- 
sal area  per  unit  area).  Standardization  of  definitions  associated 
with  these  guides,  and  of  the  format  in  which  they  are  presented, 
is  desirable  in  order  to  ensure  a  common  understanding  and  inter- 
pretation of  information,  regardless  of  species  type. 

Several  formats  for  such  guides  were  exaamincd,  including 
those  showing  growing-stock  levels  for  ponderosa  pine  (Myers 
1967),  natural  stand  relationships  in  Douglas-fir  (Reukema  and 
Bruce  1977),  and  stocking  charts  for  eastern  hardwoods 
(Gingrich  1967,  Roach  1977.  Leak  et  al.  1969).  The  displays 
drawn  on  these  formats  arc  founded  on  equations  based  on 
growing  space  requirements.  Curtis  (1970  and  1971)  pointed  out 
the  functional  relationships  among  them. 

The  important  underlying  concept  for  all  of  these  guides  is  that 
a  site  has  a  biologic  density  potential.  When  a  given  stand  is 
compared  to  this  reference  potential,  the  result  is  a  measure  of 
relative  stand  density.  Regardless  of  the  formulation  used,  the 
end  result  is  a  measure  of  crowding. 

The  Gingrich  guide 

Guides  meant  to  express  stocking  levels  have  ranged  from  a 
simple  plotting  of  number  of  trees  or  basal  area  by  stand  size  to 
transformed  scales  and  multiple  dimensions.  An  approach  devel- 
oped by  Gingrich  (1967)  has  been  used  widely  to  show  stand 
characteristics.  This  Gingrich  guide  has  been  adopted  as  the  Na- 
tional Forest  system's  standard  for  stocking  guides  because  of  its 
simplicity  and  ease  of  use. 

Some  guides  use  only  basal  area  or  number  of  trees  to  show 
density.  Gingrich's  design  uses  both  and  because  of  this,  infor- 
mation from  other  guides  that  use  either  basal  area  or  number  of 
trees  can  be  transferred  to  this  one  format.  The  design  of  the 
Gingrich  guide  also  aids  in  visualizing  the  dynamics  of  stand 
growth  and  the  interactions  of  basal  area  and  number  of  trees  as  a 
stand  matures. 

Gingrich's  guide  displays  the  stand  basal  area,  the  number  of 
trees,  and  the  quadratic  mean  diameter.  These  parameters  are 
mathematically  related  and  specification  of  any  two  implies  the 
third.  Both  basal  area  per  unit  area  (or  the  equivalent,  sum  of  di- 
ameters squared  times  a  constant)  and  number  of  trees  per  unit 
area  are  easily  derived  from  a  field  cruise.  The  quadratic  mean 
diameter  (or  the  diameter  of  the  tree  of  average  basal  area)  is 
used  as  a  measure  of  stand  size.  The  mathematically  derived 
interrelationships  between  them  are  shown  in  figure  1 .  the  rec- 
ommended background  chart  on  which  all  the  stocking  levels  can 
be  plotted.  Stocking  guides  that  plot  only  two  of  these  parameters 
(such  as  number  of  trees  by  stand  size  or  basal  area  by  stand  size) 
can  easily  have  their  information  transferred  to  this  more  compre- 
hensive design.  The  basic  form  of  the  chart  can  be  developed  and 
used  for  any  tree  species  or  forest  type.  Of  course,  the  reference 
level  and  stocking  levels  fitted  to  the  chart  will  be  specific  to  the 
species,  plant  community,  forest  type,  habitat  type,  and  manage- 
ment objectives. 

Because  of  the  need  of  some  organizations  for  metric  equiva- 
lents, stocking  guides  should  be  developed  with  both  English  and 


5 


metric  units  of  measure.  (To  avoid  confusion,  this  should  be 
done  through  duplicate  charts  rather  than  the  use  of  dual  scales.) 
You  may  find  it  helpful  to  refer  to  a  drawing  of  the  Gingrich 
stocking  guide  (fig.  1)  when  reading  the  following  sections. 

Reference  and  stocking  levels 

It  is  not  our  purpose  to  standardize  the  techniques  used  in  devel- 
oping stocking  guides.  Nor  do  we  recommend  that  there  be  only 
one  reference  level  for  all  forest  or  habitat  types,  with  stocking 
levels  established  on  the  basis  of  a  single  reference  level.  Rather, 
each  forest  type^would  have  a  unique  reference  level  with  appro- 
priate stocking  levels  developed  for  specific  economic  conditions. 

Much  research  has  been  directed  toward  establishing  reference 
levels  and  stocking  levels  for  many  forest  types,  but  additional  re- 
search is  needed  on  other  forest  types.  Where  the  necessary  infor- 
mation is  available,  developing  a  standardized  stocking  guide 
merely  requires  transferring  the  existing  information  to  the  format 
of  the  Gingrich  guide.  Where  such  information  is  lacking,  consid- 
erable effort  will  be  required.  This  should  follow  the  recommended 
procedure  that  begins  on  page  7. 

The  major  task  in  developing  a  stocking  guide  is  establishing  the 
reference  level  for  stand  density.  A  variety  of  techniques  have 
been  used.  Curtis  (1970)  suggested  that  many  of  these  techniques 
can  be  interpreted  as  expressions  of  average  area  requirements  per 
tree  under  the  specified  conditions  of  the  reference  level.  West 
(1982)  also  compared  many  of  these  measures  and  pointed  out  the 
advantages  of  some.  Regardless  of  the  methods  used,  the  end  re- 
sult is  the  same — a  measure  of  the  expected  basal  area  or  number 


of  trees  for  a  stand  of  given  size,  composition,  and  structure  under 
the  specified  condition  of  the  reference  level.  Stands  of  similar 
size,  composition,  and  structure  can  be  compared  to  this  level  for  a 
measure  of  relative  density.  Specific  formulations  of  reference  lev- 
els are  detailed  in  the  literature. 

The  information  shown  on  the  Gingrich  (1967)  stocking  guide 
includes  basal  area,  number  of  trees,  and  diameter  of  the  tree  of 
mean  basal  area.  These  parameters  are  easily  derived  from  a  field 
cruise,  and  relative  stand  density  can  then  be  read  from  the  guide. 
The  Gingrich  stocking  guide  format  as  presented  on  this  page  is 
quick  and  easy  to  use. 

An  alternate  and  equivalent  determination  of  relative  stand  den- 
sity can  be  made.  If  the  calculation  of  average  maximum  density  is 
based  on  equations  that  indicate  growing-space  requirements,  the 
contribution  of  each  tree  to  relative  stand  density  can  be  summed 
across  the  stand.  Since  the  growing-space  equations  were  devel- 
oped for  a  specified  reference  condition,  the  calculation  results  in  a 
measure  of  stand  density  relative  to  that  reference  level.  The  com- 
putation usually  can  be  reduced  to  fairly  simple  equations  easily 
evaluated  for  any  given  stand  table. 

Methods  of  determination  based  on  either  the  chart  or  on  the 
summation  of  growing-space  requirements  of  individual  trees,  will 
result  in  an  equivalent  measure  of  relative  stand  density.  A  com- 
parison with  established  stocking  levels  would  then  indicate  the  de- 
sirability of  a  thinning  to  better  meet  the  management  objective. 

To  develop  a  stocking  level,  a  management  objective  must  be 
determined.  The  recommended  residual  density  (or  stocking  level) 
and  the  timing  of  stand  treatments  may  differ  for  each  objective. 
Developing  a  stocking  level  requires  many  long-term  measure- 


Basal  area — ft2  acre 


400- 


350- 


300' 


250- 


200— 


150- 


100— 


50 


24 


Quadratic  mean  diameter 


4 

Average 

maximum  density 


Upper  level  of 
management  zone 


Lower  level  of  management  zone 


Reference  level  of  no  competition — 100  CCF 


200  400  600  800  1000  1200 

Trees  per  acre 


1400 


1600 


1800 


2000 


Figure  1 — The  Gingrich  guide. 


6 


mcnts  of  biological  responses  to  the  manipulation  oi  stand  density 
Slocking  levels  can  be  derived  through  simulation  or  direct  analy- 
sis of  the  data,  but  either  approach  requires  many  experiments  and 
trials  in  sample  stands.  In  some  forest  types,  detailed  data  are  no) 
available,  and  guides  must  be  made  on  the  basis  ol  the  best  infoi 
mation  available. 

Procedure 

The  following  procedure  outlines  the  steps  required  in  devel 
oping  stocking  guides.  There  is  a  great  amount  of  work  required  to 
develop  these  guides;  fortunately,  some  of  this  work  may  already 
be  completed.  Interim  stocking  guides  are  needed  for  species  or 
types  where  data  are  not  available.  On-going  consultation  with  ami 
support  from  local  research  organizations  such  as  universities  or 
Forest  Service  research  laboratories  is  important. 

Step  1:  Developing  a  reference  level  The  reference  level  can 
be  based  on  a  standard  of  average  maximum  competition  or  no 
competition.  The  necessary  data  to  develop  this  level  depends  on 
the  standard  that  is  selected.  For  a  standard  of  no  competition, 
crown  width/d.b.h.  equations  often  arc  available.  If  not,  the  basic 
data  needed  for  each  species  are  measurements  of  d.b.h.  and 
crown  width  of  trees  grown  in  an  open  condition,  and  they  must  be 
collected  over  the  entire  range  of  diameters  usually  encountered. 
An  equation  of  maximum  crown  area  by  diameter  is  developed 
from  these  data.  Karjicek  et  al.  (1961)  outline  these  procedures  in 
detail. 

For  a  standard  of  average  maximum  competition,  several  meth- 
ods already  have  been  discussed.  Growing-space  allocation  tech- 
niques are  useful  and  result  in  reliable  measures  of  stand  density. 
The  basic  data  needed  are  stand  tables  for  all  trees  in  a  sample  of 
stands.  The  stands  selected  for  analysis  should  be  undisturbed, 
even-aged,  and  natural;  and  should  represent  a  range  of  age 
classes.  Tree  tallies  should  include  all  trees  in  the  stand;  trees  as 
small  as  1  inch  d.b.h.  should  be  counted  where  they  make  up  a 
significant  portion  of  the  stand.  Some  data  of  this  kind  are  avail- 
able or  can  be  adapted  from  reliable  yield  tables.  An  expression  of 
growing-space  requirements  can  then  be  developed.  Mathematical 
procedures  for  deriving  the  necessary  equations  are  found  in 
Gingrich  (1967),  Chisman  and  Schumacher  (1940).  Curtis  (1971), 
Reinekc  (1933),  and  West  (1982). 

Step  2:  The  stocking  guide  format  After  the  data  are  obtained 
for  the  reference  level,  these  data  must  be  adapted  into  a  form  in 
which  they  can  be  used  to  determine  the  relative  stand  density  of 
sampled  stands.  Developing  a  standard  chart  in  the  format  of  fig- 
ure 1  entails  solving  the  reference-level  equation  over  a  range  of 
average  stand  sizes  and  plotting  the  solutions  in  the  appropriate 
format.  For  types  where  this  basic  work  already  has  been  done  but 
displayed  differently,  the  data  generally  can  be  transformed  easily 
into  the  standard  chart  format. 

It  also  may  be  useful  to  Fit  (if  necessary)  the  reference-level 
equations  into  a  form  in  which  they  can  be  applied  directly  to 


sample  stand  data  to  derive  the  measure  of  relative  stand  density. 
Depending  on  the  procedure  used  to  decide  on  the  reference  level 
and  the  type  of  diameter  distribution  encountered  in  the  particular 
forest  type,  one  may  need  to  modify  the  expression  for  average 
stand  size.  Gingrich  (1967)  and  Rogers  (1980)  include  an  example 
of  a  type  for  which  such  a  modification  was  required. 

Step  3:  Developing  stocking  levels  Developing  stocking  levels 
is  a  long-term  project.  Biological  growth  responses  to  the  manipu- 
lation of  stand  density  must  be  monitored  over  long  periods  in 
plots  controlled  at  various  residual  stand  densities.  In  addition  to 
volume  responses,  quality  responses  also  can  be  monitored,  partic- 
ularly where  high-quality  sawtimber  is  a  goal.  Growth  models  de- 
veloped from  these  data  can  be  used  to  evaluate  and  select  the  re- 
sidual densities  that  best  meet  the  management  objective  for 
different  economic  conditions.  Growth  response  also  can  be  used 
to  simulate  alternative  mangement  strategies.  Stocking  levels  de- 
veloped for  a  specific  forest  type  may  indicate  the  treatments  for 
similar  forest  types  for  which  we  have  no  stocking  guides. 

Stocking  levels  can  be  placed  on  the  chart,  stated  mathematic- 
ally, or  stated  narratively.  For  example,  maximum  volume  produc- 
tion might  occur  at  a  known,  specific  residual  relative  density;  this 
may  be  dependent  on  variables  such  as  age  stand  or  on  previous 
management  practices. 

Step  4:  Drawing  up  the  stocking  guide  Each  stocking  guide 
should  be  drawn  up  in  the  Gingrich  format  and  should  include  no- 
tations as  to  the  origins  of  its  data.  The  following  information 
should  be  included: 

•  Species  composition  or  forest  type  and  geographic  area  of 
applicability. 

•  Definitions  of  the  reference  standard  (as  one  of  average  maxi- 
mum competition  or  some  other  standard). 

•  Equations  for  the  reference  level  where  available;  sources  of 
data  and  procedures  of  analysis  should  be  documented. 

•  Placement  of  the  upper  and  lower  stocking  levels  for  the 
specified  management  objective,  and  the  management  zone 
between.  The  management  objective  should  be  stated 
explicitly. 

Step  5:  Using  the  guides  Comparing  the  actual  relative  density 
to  the  recommended  relative  density  may  imply  an  opportunity  for 
silvicultural  treatment.  Stocking  levels  show  stand  densities  that 
theoretically  optimize  some  management  objective  (that  is,  volume 
or  quality  production  under  specific  economic  constraints),  but 
they  say  nothing  about  the  feasibility  or  operability  of  the  treat- 
ment. Professional  judgment  still  must  be  exercised  when  the  im- 
plications of  that  judgment  have  become  clear. 

As  was  pointed  out  by  Leak  (1981),  we  must  continue  to  evalu- 
ate the  recommended  stocking  levels  to  see  if  they  satisfy  the  de- 
sired management  objective.  Not  meeting  the  objective  does  not 
destroy  the  usefulness  of  the  entire  concept,  but  it  does  suggest 
that  refinements  are  needed  in  the  stocking  level  or  the  recom- 
mended relative  stand  density.  It  is  only  through  such  evaluations 
that  the  stocking  guides  can  be  improved. 


7 


Literature  Cited 


Bickford.  C.  Allen  and  others.  Stocking,  normality,  and  measurement  of 
stand  density.  Journal  of  Forestry.  55:  99-104;  1957. 

Braathe.  Peder.  Thinnings  in  even-aged  stands:  A  summary  of  European 
literature.  Fredericton,  NB:  University  of  New  Brunswick:  1957; 
Univ.  New  Brunswick  Bull.,  92  p. 

Chisman,  H.  H.;  Schumacher.  F.  X.  On  the  tree-area  ratio  and  certain  of 
its  applications.  Journal  of  Forestry.  38:  311-317;  1940. 

Curtis.  Robert  O.  Stand  density  measures:  An  interpretation.  Forest  Sci- 
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Curtis,  Robert  O.  A  tree  area  power  function  and  related  stand  density 
measures  for  Douglas-fir.  Forest  Science.  17:  146-159:  1971. 

Curtis,  Robert  O.  A  simple  index  of  stand  density  for  Douglas-fir.  Forest 
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Drew,  T.  John;  Flewelling,  James  W.  Some  recent  Japanese  theories  of 
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Drew.  T.  John;  Flewelling,  James  W.  Stand  density  management:  an  alter- 
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Ginrich  [Gingrich],  Samuel  F.  Measuring  and  evaluating  stocking  and 
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8